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2015-04-15

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COSOB Regulation No. 15-01 of April 15, 2015 on the Approval Conditions, Obligations, and Supervision of Stock Exchange Intermediaries

The Commission des Opérations de Bourse (COSOB) issued Regulation No. 15-01 on April 15, 2015, to establish the regulatory framework for Stock Exchange Intermediaries. The regulation defines the specific conditions required for the approval of these intermediaries and outlines their ongoing operational obligations. It further details the supervisory mechanisms and controls that COSOB employs to ensure compliance within the stock exchange sector.

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Commission d'Organisation et de Surveillance des Operations de Bourse

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COSOB Regulation No. 15-01 1

COSOB Regulation No. 15-01 2

COSOB Regulation No. 15-01 3

COSOB Regulation No. 15-01 4

COSOB Regulation No. 15-01 5

COSOB Regulation No. 15-01 6

COSOB Regulation No. 15-01 7

COSOB Regulation No. 15-01 8

COSOB Regulation No. 15-01 9

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COSOB Regulation No. 15-01 ofApril 15, 2015 on the Approva…2015-04-15 · this documentCOSOB Regulation No. 15-01 of April 15, 2015 on the Approval Conditions, Obligations, and Supervision of Stock Exchange Intermediaries (2015-04-15)COSOB Regulations Nos. 16-03 an…2016COSOB Regulations Nos. 16-03 and 16-04 on Investment Fund Management Company Organization and Professional Ethics (2016-10-25)COSOB Regulation No. 23-01 of A…2023COSOB Regulation No. 23-01 of April 12, 2023 Fixing the Conditions for Approval, Exercise, and Control of Participatory Investment Advisors (2023-04-12)COSOB Regulation No. 23-02 of A…2023COSOB Regulation No. 23-02 of April 12, 2023, Fixing the Management and Intervention Conditions of the Good Performance Guarantee Fund for Financial Market Operations and Contribution Calculation Rules (2023-04-12)COSOB Regulation No. 23-03 of A…2023COSOB Regulation No. 23-03 of April 12, 2023, Fixing Qualification Rules and Registration Conditions for Agents Authorized to Conduct Securities Trading on the Stock Exchange and Issuing Professional Cards (2023-10-25)Instruction COSOB No. 24-01 of …2024Instruction COSOB No. 24-01 of March 27, 2024 on Qualification Conditions for the CEO of a Stock Exchange Intermediary Company and the Head of the Stock Exchange Intermediary Structure in Banks and Financial Institutions (2024-03-27)Instruction COSOB No. 24-02 of …2024Instruction COSOB No. 24-02 of March 27, 2024, on the Procedures for Submitting Applications for Registration of Listed Securities Negotiators (2024-03-27)Instruction COSOB No. 24-10 of …2024Instruction COSOB No. 24-10 of December 31, 2024, on Stock Exchange Order Placement Methods (2024-12-31)+3 moresee all below the graph+3 more
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Show all related documents (10)
Basis for
Instruction COSOB No. 24-10 of December 31, 2024, on Stock Exchange Order Placement Methods2024Instruction COSOB No. 24-01 of March 27, 2024 on Qualification Conditions for the CEO of a Stock Exchange Intermediary Company and the Head of the Stock Exchange Intermediary Structure in Banks and Financial Institutions2024Instruction COSOB No. 24-02 of March 27, 2024, on the Procedures for Submitting Applications for Registration of Listed Securities Negotiators2024Instruction COSOB No. 16-04 of December 18, 2016 on the Functions and Qualification and Registration Conditions of the Compliance Officer2016COSOB Instruction No. 16-03 of April 18, 2016 Fixing the Elements Constituting the File Attached to the Application for Approval as a Stock Exchange Intermediary2016Instruction COSOB No. 16-02 of February 24, 2016, on the Honesty Requirements for the Executive of a Commercial Stock Exchange Intermediary2016
Referred to by
COSOB Regulation No. 23-03 of April 12, 2023, Fixing Qualification Rules and Registration Conditions for Agents Authorized to Conduct Securities Trading on the Stock Exchange and Issuing Professional Cards2023COSOB Regulation No. 23-01 of April 12, 2023 Fixing the Conditions for Approval, Exercise, and Control of Participatory Investment Advisors2023COSOB Regulation No. 23-02 of April 12, 2023, Fixing the Management and Intervention Conditions of the Good Performance Guarantee Fund for Financial Market Operations and Contribution Calculation Rules2023COSOB Regulations Nos. 16-03 and 16-04 on Investment Fund Management Company Organization and Professional Ethics2016

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